Our Staff has compiled our research into a database of FINRA Broker Disclosures for Avantax Investment Services, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Lisa Mischele Guillory | 2119094 | 1 | 03/21/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tiffany Elaine Franklin | 6644546 | 1 | 03/03/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brad Matthew Allphin | 7284923 | 3 | 02/28/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Craig Grodsky | 4481027 | 5 | 03/30/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kerry Louise Lekas | 5641219 | 1 | 02/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Conrad Ronald Schock III | 4596222 | 2 | 01/20/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Craig Grodsky | 4481027 | 5 | 10/28/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Justin James Wolfe | 7740501 | 1 | 10/07/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Arlene Hackett | 5734643 | 1 | 09/17/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Daniel Pound | 5914938 | 1 | 08/31/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |